Job Description
Join our elite compliance team at Global Financial Solutions Inc., a leading financial institution in Miami's vibrant market. We're seeking a highly skilled Senior Compliance Officer to drive regulatory excellence and mitigate risks in our dynamic operations. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategies for a Fortune 500 company. Our Miami headquarters offers a collaborative environment with cutting-edge resources and career advancement opportunities.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and international regulations
- Conduct risk assessments and internal audits for financial products and services
- Monitor regulatory changes and provide actionable guidance to senior leadership
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams to ensure adherence to policies
- Prepare detailed compliance reports for regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, and 63 certifications required
- Expert knowledge of AML, KYC, and anti-fraud regulations
- Proven experience managing regulatory exams and investigations
- Strong analytical skills with attention to detail
- Exceptional written and verbal communication abilities
- Proficiency in compliance software (e.g., Certify, OnBase)